There is little to fear from the final version of the Department of Labor's regulation, planners say in a new survey.

FINRA reprimanded the former rep for allegedly falsifying personal documents as accommodations for HSBC bank customers.

Vanguard founder John Bogle and the DoL's Phyllis Borzi support an investor bill of rights.

The advisers are also balking at the firm's insistence that former advisers seeking to claim comp go through its dispute resolution process instead of FINRA.

The former rep allegedly stole $1,380 from a customer's bank account by issuing and then using a debit card without the customer's knowledge.

The wirehouse terminated the broker two days after losing a $34 million arbitration case brought by the client's widow, who alleged elder abuse and other misconduct.

Now that the sharply contested rule is the law of the land, a senior agency official says the department looks to help with compliance, not find targets to sue.

Keeping up with the pace of change in the wealth management industry involves blending holistic advice and a digitally enhanced practice.

Concerns about the new fiduciary rule helped propel the move, along with a drop in LPL service, an adviser says.

The finalization of the Department of Labor’s recent fiduciary ruling has left more than one out of three retirement plan service providers uncertain of their professional status, according to a new industry survey.

Shifting to advisory business means firms will have to develop new incentives to attract talent, as the job will not offer the same earning gratification as it once did.

New York City Council Speaker Melissa Mark-Viverito has asked the SEC to investigate OppenheimerFunds, saying the asset management company has played a role in worsening Puerto Rico’s fiscal crisis.

The proposal, which would allow more consumers to join class-action lawsuits over disputes, could drive up compliance costs. Agency director Richard Cordray wants more accountability.

Not every ETF launch works. But a team effort and a compelling idea can make an ETF a success in an industry where a handful of dominant firms and smaller players compete aggressively for assets.

Investment professionals foresaw the greatest risks in flawed algorithms, according to a global survey.

Program managers bridge the gap between banks and their advisers and today they're facing more challenges than ever. The best look for champions, call meetings and talk a lot.

Industry regulator levies its largest penalty involving variable annuities after claiming a long-running effort misrepresented annuity features and steered clients into costlier products.

FINRA blasted the former rep for allegedly making unsuitable recommendations in unit investment trusts that cost customers more than $1 million in losses.

Low rates may prove a more enduring challenge than even MetLife Chief Executive Steve Kandarian’s fight against government regulation.

How have other countries that introduced fiduciary standards before the U.S. fared? Toronto-based adviser Trevor Parry gives the long view.